13F-HR filed by Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors
Bay Colony Advisory Group, Inc d/b/a Bay Colony Advisors filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-29, with 185 holding rows worth $117,473,000.
- Accession
- 0001754960-19-000001
- Filer
- CIK 1748861
- Filed
- 2019-01-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 185 entries on the cover page, a total value of $117,473,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $117,474,000 with VALUE read as thousands by filing date, 13F file number 028-18862. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 88,446 | $8,089,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 135,317 | $7,091,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 137,654 | $5,275,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 19,740 | $4,967,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 37,492 | $3,808,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 35,960 | $3,522,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 82,339 | $3,031,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 57,707 | $2,889,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 11,415 | $2,331,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 14,582 | $2,300,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 30,346 | $1,881,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 43,500 | $1,723,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 29,311 | $1,468,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 34,206 | $1,413,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 48,651 | $1,388,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 20,468 | $1,364,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 132,500 | $1,301,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPY | 78462F103 | SHS | 5,201 | $1,300,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares TIPS Bond ETF | 464287176 | SHS | 11,690 | $1,280,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288687 | COM | 36,869 | $1,262,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 13,567 | $1,240,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD MALVERN FDS | 922020805 | SHS | 25,329 | $1,214,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO QQQ TR | 46090E103 | COM | 7,192 | $1,109,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287168 | COM | 12,051 | $1,076,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares S&P 500 Value ETF | 464287408 | SHS | 10,328 | $1,045,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VWO | 922042858 | SHS | 24,302 | $926,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 13,356 | $911,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 11,354 | $885,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 15,533 | $854,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DISCOVERY INC | 25470F104 | COM SER A | 33,400 | $826,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Johnson & Johnson | 478160104 | COM | 6,390 | $825,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 8,159 | $818,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CROWN CASTLE INC COM | 22822V101 | REIT | 7,417 | $806,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 16,723 | $785,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 11,958 | $770,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 17,666 | $765,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Procter & Gamble Co | 742718109 | COM | 8,324 | $765,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 6,092 | $739,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 14,701 | $724,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 30,200 | $719,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 22,283 | $710,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 40,900 | $684,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amgen Inc. | 031162100 | COM | 3,414 | $665,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 13,828 | $651,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JPMorgan Chase & Co | 46625H100 | COM | 6,571 | $641,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INCYTE CORP COM | 45337C102 | Stock | 9,700 | $617,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 2 | $612,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 16,200 | $592,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 6,900 | $588,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 5,003 | $584,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 10,291 | $579,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES MANAGEMENT CORPORATION CL A COM STK | 03990B101 | Stock | 32,400 | $576,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 4,956 | $565,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Home Depot, Inc | 437076102 | COM | 3,277 | $563,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Honeywell Technologies | 438516106 | COM | 4,251 | $562,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Chevron Corporation | 166764100 | COM | 5,124 | $557,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 5,671 | $540,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 10,825 | $540,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 4,882 | $535,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amazon.com, Inc | 023135106 | COM | 349 | $524,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 13,317 | $520,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 10,751 | $509,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| M & T BK CORP COM | 55261F104 | Stock | 3,542 | $507,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walmart Inc. | 931142103 | COM | 5,384 | $501,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANECK ETF TRUST | 92189F676 | COM | 5,700 | $497,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,630 | $493,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Abbott Laboratories | 002824100 | COM | 6,753 | $488,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,557 | $476,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 22,336 | $471,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 10,738 | $469,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 3,467 | $455,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROVIDENT BANCORP INC | 74383X109 | COM | 21,000 | $455,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 13,111 | $453,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,582 | $446,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 7,400 | $445,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 10,383 | $440,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 4,046 | $431,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Advanced Micro Devices,Inc. | 007903107 | COM | 23,250 | $429,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 9,369 | $427,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Visa Inc | 92826C839 | COM | 3,194 | $421,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 3,447 | $419,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 5,272 | $414,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 395 | $409,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bank of America Corp | 060505104 | COM | 16,188 | $399,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES CAPITAL CORP | 04010L103 | COM | 24,692 | $385,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 5,000 | $384,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 6,864 | $384,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V308 | BUYBACK ACHIEV | 7,105 | $371,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VTI | 922908769 | COM | 2,873 | $367,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 46432F834 | COM | 6,959 | $366,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Lockheed Martin Corporation | 539830109 | COM | 1,350 | $354,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 14,385 | $354,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOWDUPONT INC | 26078J100 | COM | 6,544 | $350,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 332 | $347,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 6,137 | $325,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 9,861 | $323,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Medtronic Plc | G5960L103 | COM | 3,316 | $302,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 9,033 | $302,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 7,803 | $299,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 18,965 | $296,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SCHD | 808524797 | COM | 6,308 | $296,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 27,714 | $289,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 9,966 | $287,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Wells Fargo & Company | 949746101 | COM | 6,199 | $286,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 9,600 | $286,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 3,628 | $283,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 7,591 | $282,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287457 | COM | 3,360 | $281,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,705 | $281,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JANUS DETROIT STR TR | 47103U852 | HENDERSON MTG | 5,509 | $278,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Total World Stock ETF | 922042742 | SHS | 4,202 | $275,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 16,600 | $274,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 13,875 | $274,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SYSCOCORP | 871829107 | COM | 4,354 | $273,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUCOR CORP COM | 670346105 | Stock | 5,235 | $271,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 7,346 | $271,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 4,150 | $267,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EOG RES INC COM | 26875P101 | Stock | 3,054 | $266,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 3,431 | $262,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 10,790 | $262,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,116 | $260,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 4,800 | $259,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VENTAS INC COM | 92276F100 | REIT | 4,329 | $254,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,636 | $252,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,555 | $251,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,881 | $247,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,872 | $246,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 2,238 | $241,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ConocoPhillips | 20825C104 | COM | 3,847 | $240,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 8,406 | $238,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Caterpillar Inc. | 149123101 | COM | 1,850 | $235,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 2,688 | $233,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,107 | $230,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARBOR REALTY TRUST INC | 038923108 | COM | 22,808 | $230,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bristol-Myers Squibb Company | 110122108 | COM | 4,398 | $229,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 3,959 | $227,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IJH | 464287507 | COM | 1,354 | $225,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 4,678 | $224,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,193 | $221,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Boeing Company | 097023105 | COM | 678 | $219,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CME Group Inc. Class A | 12572Q105 | COM | 1,167 | $219,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 1,231 | $219,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BSB BANCORP INC MD | 05573H108 | COM | 7,800 | $219,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WD 40 CO COM | 929236107 | Stock | 1,181 | $216,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,091 | $215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Southern Company | 842587107 | COM | 4,614 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,425 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 4,897 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 9,598 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XILINX INC | 983919101 | COM | 2,351 | $200,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 11,397 | $183,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 11,325 | $166,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 19,800 | $151,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 18,154 | $150,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 15,813 | $123,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 31,000 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 24,000 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 20,000 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 21,000 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 17,000 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 25,000 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 21,000 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 17,000 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 19,000 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 18,000 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 18,000 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 17,000 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 17,000 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 15,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 16,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 29,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 15,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 12,000 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 15,000 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 12,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 13,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 13,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 12,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 11,000 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 17,000 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 14,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 10,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 12,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEVRO CORP | 64157FAA1 | BOND | 11,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EVINE LIVE INC | 300487105 | CL A | 10,000 | $4,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001754960-19-000001 | this filing | 2019-01-29 | acceptance time not in the bulk data set |